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 Corporate Financial Reporting and Regulation in the United States

George J. Benston, Michael Bromwich, Robert E. Litan, and Alfred Wagenhofer

in Worldwide Financial Reporting: The Development and Future of Accounting Standards

Published in print:
2006
Published Online:
February 2006
ISBN:
9780195305838
eISBN:
9780199783342
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0195305833.003.0004
Subject:
Economics and Finance, Financial Economics

This chapter reviews the rules governing financial disclosure by corporations in the United States. It begins with an overview of state regulation (which is still in force) and then turns to federal ... More


Wall Street Meets the New Deal (1930–35)

Charles R. Geisst

in Wall Street: A History

Published in print:
1999
Published Online:
November 2003
ISBN:
9780195130867
eISBN:
9780199871155
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/0195130863.003.0008
Subject:
Economics and Finance, Economic History, Financial Economics

The reaction from Washington to Wall Street woes. Hoover calls Senate investigation into market practices, Roosevelt wins White House, short selling depresses market, F. Pecora becomes lead counsel ... More


Use of Non-EU Ratings in the EU

Garcia Alcubilla and Ruiz del Pozo

in Credit Rating Agencies on the Watch List: Analysis of European Regulation

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199608867
eISBN:
9780191739125
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199608867.003.0004
Subject:
Economics and Finance, Financial Economics, Macro- and Monetary Economics

Agencies domiciled in non-EU countries do not need to be registered in order to issue ratings on EU issuers or on securities offered in the EU. However, these ratings may not be used for regulatory ... More


Structuring Securities Regulation in the European Union: Lessons from the U.S. Experience

Donald C. Langevoort

in Investor Protection in Europe: Corporate Law Making, The MiFID and Beyond

Published in print:
2006
Published Online:
January 2009
ISBN:
9780199202911
eISBN:
9780191707964
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199202911.003.0017
Subject:
Law, Company and Commercial Law

Politics aside, the question of whether the EU should create an SEC is about the trade-offs between scale and accountability. This chapter considers that trade-off in the US context, with specific ... More


Wasting a Crisis: Why Securities Regulation Fails

Paul G. Mahoney

Published in print:
2015
Published Online:
September 2015
ISBN:
9780226236513
eISBN:
9780226236650
Item type:
book
Publisher:
University of Chicago Press
DOI:
10.7208/chicago/9780226236650.001.0001
Subject:
Law, Legal History

This book argues that policy responses to financial crises are similar across time and place and are generally ineffective or counterproductive. Political actors, hoping to avoid blame for a ... More


Completing the Foundation: The Investment Company Act

Matthew P. Fink

in The Rise of Mutual Funds: An Insider's View

Published in print:
2008
Published Online:
January 2009
ISBN:
9780195336450
eISBN:
9780199868469
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780195336450.003.0003
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

The Investment Company Act of 1940, the law that regulates mutual funds and other types of investment companies, is generally regarded as a model regulatory statute. The Act strikes a careful balance ... More


Completing the Foundation:The Investment Company Act

Matthew P. Fink

in The Rise of Mutual Funds: An Insider’s View

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199753505
eISBN:
9780199918805
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199753505.003.0003
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

This chapter discusses the events leading up to the enactment of the Investment Company Act of 1940. Three questions are addressed. First, why, despite unanimous predictions to the contrary, did the ... More


Early Development

Matthew P. Fink

in The Rise of Mutual Funds: An Insider’s View

Published in print:
2011
Published Online:
January 2012
ISBN:
9780199753505
eISBN:
9780199918805
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199753505.003.0004
Subject:
Economics and Finance, Macro- and Monetary Economics, Financial Economics

This chapter discusses the first thirty years of the modern mutual fund industry, 1940 to 1970, which witnessed an extremely strong stock market and a corresponding boom in mutual funds as they were ... More


Regulating Financial Planners: Assessing the Current System and Some Alternatives 1

Jason Bromberg and Alicia P. Cackley

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0014
Subject:
Business and Management, Pensions and Pension Management

This chapter reviews US federal and state regulation of financial planners, and it also addresses concerns related to consumer confusion over the standards of care that planners provide and the ... More


Transatlantic regulatory cooperation from a trade perspective: a case study in accounting standards

Joel P. Trachtman

in Transatlantic Regulatory Cooperation: Legal Problems and Political Prospects

Published in print:
2001
Published Online:
March 2012
ISBN:
9780198298922
eISBN:
9780191685545
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780198298922.003.0013
Subject:
Law, Public International Law

This chapter analyses more specifically the inhibiting effect that regulatory diversity in accounting standards has had on international trade. It discerns in the contemporary state of the WTO, and ... More


Corporate Transparency

David Sarokin and Jay Schulkin

in Missed Information: Better Information for Building a Wealthier, More Sustainable Future

Published in print:
2016
Published Online:
May 2017
ISBN:
9780262034920
eISBN:
9780262336253
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262034920.003.0005
Subject:
Information Science, Library Science

Corporations exist in an odd information space, requiring detailed public reporting and simultaneously allowing enormous secrecy. Financial reporting, however, does not paint a full and meaningful ... More


The Controversial New Disclosure Requirements in Dodd–Frank

Paul H. Schultz

in Perspectives on Dodd-Frank and Finance

Published in print:
2014
Published Online:
May 2015
ISBN:
9780262028035
eISBN:
9780262325929
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262028035.003.0013
Subject:
Economics and Finance, Financial Economics

In this chapter, Paul Schultz discusses two controversial parts of the Dodd-Frank Act: the conflict minerals rule and the internal pay equity rule. The conflict minerals rule requires companies to ... More


Money Market Mutual Fund Reform

Hal S. Scott

in Connectedness and Contagion: Protecting the Financial System from Panics

Published in print:
2016
Published Online:
January 2017
ISBN:
9780262034371
eISBN:
9780262332156
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262034371.003.0019
Subject:
Economics and Finance, Economic History

Prime money market mutual funds (MMF) are particularly susceptible to runs given the inherently short-term nature of their liabilities and the riskiness of their assets as compared with government ... More


Reversing Predatory Value Extraction

William Lazonick and Jang-Sup Shin

in Predatory Value Extraction: How the Looting of the Business Corporation Became the US Norm and How Sustainable Prosperity Can Be Restored

Published in print:
2019
Published Online:
January 2020
ISBN:
9780198846772
eISBN:
9780191881770
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198846772.003.0008
Subject:
Business and Management, Corporate Governance and Accountability

This concluding chapter suggests the following changes in the United States’ corporate-governance regime that can get its economy back on the path to sustainable prosperity: (1) rescind SEC Rule ... More


Current Hedge Fund Debates and Controversies

Dianna C. Preece

in Hedge Funds: Structure, Strategies, and Performance

Published in print:
2017
Published Online:
August 2017
ISBN:
9780190607371
eISBN:
9780190607401
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780190607371.003.0029
Subject:
Economics and Finance, Financial Economics

The hedge fund industry has grown to nearly $3 trillion over the last 20 years. High-net-worth individuals and institutional investors expect high returns and low correlation with traditional asset ... More


New York Sybarite Conquers the South: Trump, Race, and the Southernization of American Politics

Charles S. Bullock, Susan A. MacManus, Jeremy D. Mayer, and Mark J. Rozell

in The South and the Transformation of U.S. Politics

Published in print:
2019
Published Online:
August 2019
ISBN:
9780190065911
eISBN:
9780190065959
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780190065911.003.0006
Subject:
Political Science, American Politics

Donald Trump, the thrice married and publicly philandering Manhattan resident who had recently been pro-choice and pro-gun control, won the Republican nomination and the presidency in 2016 in part ... More


The SEC’s Impact on the Federalization of Corporate Governance—A Traditional Perspective

Marc I. Steinberg

in The Federalization of Corporate Governance

Published in print:
2018
Published Online:
March 2018
ISBN:
9780199934546
eISBN:
9780199361854
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780199934546.003.0003
Subject:
Law, Company and Commercial Law

This chapter examines, from a traditional perspective, several areas where the Securities and Exchange Commission (SEC) has impacted corporate governance in a meaningful way. By way of example, these ... More


Unresolved Business: Federal Corporate Governance Enhancements

Marc I. Steinberg

in The Federalization of Corporate Governance

Published in print:
2018
Published Online:
March 2018
ISBN:
9780199934546
eISBN:
9780199361854
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780199934546.003.0007
Subject:
Law, Company and Commercial Law

This chapter analyzes and recommends federal corporate governance enhancements that should be implemented. These enhancements, which should be adopted in a measured and directed manner, are necessary ... More


Selected Topics in Mutual Fund Distribution

John A. Haslem

in Mutual Funds and Exchange-Traded Funds: Building Blocks to Wealth

Published in print:
2015
Published Online:
November 2015
ISBN:
9780190207434
eISBN:
9780190207465
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780190207434.003.0023
Subject:
Economics and Finance, Financial Economics

This chapter examines the channels through which mutual fund shares are distributed to investors: (1) direct, (2) advice, (3) retirement plan, (4) supermarket, and (5) institutional. The first four ... More


A Single Listing Authority and Securities Regulator for the CMU and the Future of ESMA: Costs, Benefits, and Legal Impediments

Emilios Avgouleas and Guido Ferrarini

in Capital Markets Union in Europe

Published in print:
2018
Published Online:
July 2018
ISBN:
9780198813392
eISBN:
9780191851582
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198813392.003.0004
Subject:
Law, Company and Commercial Law, EU Law

This chapter proposes a system for EU centralization of scrutiny and approval of public offers of securities or of listing of companies mature enough to conduct an IPO or those that seek a listing ... More


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